Hedge Fund Database

LEGACY CONSULTING GROUP

LEGACY CG LLC Legal Name

Adviser information for LEGACY CONSULTING GROUP last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 2
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 464 $304.3M
Non-Discretionary 54 $12.3M
Total 518 $316.6M

Clients

Type Number RAUM
Individuals 40 $6.4M
HNW Individuals 123 $292.1M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 1 $3.5M
Charitable organizations 4 $9.7M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 3 $4.9M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-57457
SEC ERA File Number 801-57457
SEC CIK Numbers 1904825
SEC CRD Numbers 108541
Legal Entity Identifier None

Principal Office

5340 LEGACY DRIVE
STE 165
PLANO
TX
United States
Monday - Friday, MON-THURS 8:30 AM TO 5:00 PM; FRI 8:30AM - 12:00PM
Tel: 972-599-4750, Fax: None

Websites

legacyconsultinggroup.com/ www.linkedin.com/company/legacy-consulting-group-tx?v=1 www.youtube.com/@legacyconsultinggroup579

Chief Compliance Officer

STEVEN WACHS
PRESIDENT
5340 LEGACY DRIVE
STE 165
PLANO
TX
United States
Tel: 972-599-4750
(Full email address available in API data)

Regulatory Contact

JENNIFER BOLING
OPERATIONS MANAGER
5340 LEGACY DRIVE
STE 165
PLANO
TX
United States
Tel: 972-599-4750
(Full email address available in API data)

Industry Affiliates

PERRYMAN SECURITIES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ROGER A. AND SUSAN SHAKE LIVING TRUST, DATED 11/7/1989, AS AMENDED OR RESTATED Domestic Entity – MEMBER 01/2021 25-50%
WACHS, STEVEN, GREGG Individual – PRESIDENT, CHIEF COMPLIANCE OFFICER 01/1999 25-50%
SHAKE, ROGER, ALAN Individual – VP/SEC/TREAS. 01/1999 < 5%
QUINN, MATTHEW, PETER Individual – MEMBER 01/2021 5-10%
SCHMITT REVOCABLE TRUST, DATED 12/28/2018 Domestic Entity – MEMBER 01/2021 5-10%
BOLING, JENNIFER, KATHARINE Individual – MEMBER 01/2021 5-10%
SCHMITT, JENNIFER, YOUNG Individual SCHMITT REVOCABLE TRUST, DATED 12/28/2018 TRUSTEE 12/2018
SHAKE, ROGER, ALAN Individual ROGER A. AND SUSAN SHAKE LIVING TRUST, DATED 11/7/1989, AS AMENDED OR RESTATED TRUSTEE 11/1989

No. Employees, Historic

10502020202120222023202420255 on 3/21/20205 on 4/14/20205 on 4/28/20205 on 6/26/20205 on 6/29/20205 on 7/1/20205 on 2/9/20214 on 3/28/20214 on 6/1/20214 on 9/7/20214 on 9/7/20214 on 10/14/20215 on 3/23/20225 on 8/4/20224 on 3/28/20234 on 12/8/20235 on 3/26/2024

RAUM, Historic

400M200M0202020212022202320242025248547858 on 3/21/2020248547858 on 4/14/2020248547858 on 4/28/2020248547858 on 6/26/2020248547858 on 6/29/2020248547858 on 7/1/2020248547858 on 2/9/2021283377680 on 3/28/2021283377680 on 6/1/2021283377680 on 9/7/2021283377680 on 9/7/2021283377680 on 10/14/2021325106232 on 3/23/2022325106232 on 8/4/2022269231831 on 3/28/2023269231831 on 12/8/2023316581007 on 3/26/2024

No. Clients, Historic

2001000202020212022202320242025164 on 3/21/2020164 on 4/14/2020164 on 4/28/2020164 on 6/26/2020164 on 6/29/2020164 on 7/1/2020164 on 2/9/2021159 on 3/28/2021159 on 6/1/2021159 on 9/7/2021159 on 9/7/2021159 on 10/14/2021165 on 3/23/2022165 on 8/4/2022166 on 3/28/2023166 on 12/8/2023171 on 3/26/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AFLAC INC COM 206K 2K –
ALPHABET INC CAP STK CL C 8M 43K –
AMAZON COM INC COM 10M 54K –
AMERICAN CENTY ETF TR MULTISECTOR 275K 6K –
AMGEN INC COM 7M 22K –
APPLE INC COM 5M 25K –
APPLIED MATLS INC COM 7M 30K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 7M 17K –
BONDBLOXX ETF TRUST BLOOMBERG FVE YR 4M 89K –
BONDBLOXX ETF TRUST BLOOMBERG SIX MN 1M 22K –
BONDBLOXX ETF TRUST BLOOMBERG TWO YR 7M 135K –
CARRIER GLOBAL CORPORATION COM 5M 80K –
CATERPILLAR INC COM 5M 16K –
DIAMONDBACK ENERGY INC COM 6M 31K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 798K 22K –
DOUBLELINE ETF TRUST MORTGAGE ETF 12M 251K –
EXXON MOBIL CORP COM 282K 2K –
FIRST TR EXCHANGE-TRADED FD BUYWRIT INCM ETF 15M 668K –
FIRST TR EXCHNG TRADED FD VI TCW SECURITIZED 5M 239K –
FIRST TR EXCHNG TRADED FD VI VEST US EQUITY M 15M 511K –
HARBOR ETF TRUST INTERNATNAL COMP 10M 371K –
HARTFORD FDS EXCHANGE TRADED MUN OPORTUNITE 12M 299K –
INNOVATOR ETFS TRUST US EQT PWR BUF 13M 370K –
INNOVATOR ETFS TRUST US SML CP PWR B 500K 14K –
INTERNATIONAL BUSINESS MACHS COM 5M 29K –
INVESCO EXCH TRD SLF IDX FD BULETSHS 2029 3M 147K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 222K 11K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 3M 137K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 3M 143K –
INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 28 3M 141K –
INVESTMENT MANAGERS SER TR I FPA GBL EQTY ETF 11M 388K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 4M 74K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 5M 89K –
JPMORGAN CHASE & CO. COM 6M 31K –
LOWES COS INC COM 4M 20K –
MERCK & CO INC COM 6M 49K –
MICRON TECHNOLOGY INC COM 4M 27K –
MICROSOFT CORP COM 7M 15K –
MOTOROLA SOLUTIONS INC COM NEW 6M 15K –
NVIDIA CORPORATION COM 370K 3K –
ORACLE CORP COM 6M 39K –
PRINCIPAL EXCHANGE TRADED FD ACTIVE HIGH YL 5M 257K –
PRINCIPAL EXCHANGE TRADED FD PRIN U S SMALL 16M 334K –
PRINCIPAL EXCHANGE TRADED FD US MEGA CP ETF 14M 256K –
SPDR SER TR BLOOMBERG 3-12 M 2M 18K –
SPDR SER TR PORTFOLIO INTRMD 3M 95K –
UNITEDHEALTH GROUP INC COM 5M 9K –
VANECK ETF TRUST LONG MUNI ETF 4M 231K –
VANECK ETF TRUST MRNGSTR WDE MOAT 845K 10K –
VANGUARD INDEX FDS TOTAL STK MKT 576K 2K –
VICTORY PORTFOLIOS II SHORT TRM BD ETF 668K 13K –
VISA INC COM CL A 6M 23K –
WALMART INC COM 6M 82K –